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Showing 241 to 250 of 266 search results for approach to enforcement.
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Financial Conduct Authority appoints four new supervision directors
The Financial Conduct Authority (FCA) has appointed four directors to lead key areas of its Supervision division. These appointments complete the senior structure in Supervision, and are the final step in implementing a new structure for the division -
The Referral Fee Ban: a coordinated approach to regulation
Referral Fee Ban: Regulatory Relationships -
Anti-money laundering
This report sets out our obligations relating to anti-money laundering, our approach to carrying out those obligations, and the trends and emerging risks in money laundering that we are seeing in the firms we regulate. -
Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions
The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all. -
Chairman’s speech
Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA fines Swinton Group Limited £7.38 million for mis-selling monthly add-on insurance policies
The Financial Conduct Authority (FCA) has fined Swinton Group Limited (Swinton), one of the largest insurance retailers on the high street, £7,380,400 for mis-selling. The FCA found that Swinton’s aggressive sales strategy meant that it failed to -
100 days of the FCA
Speech by Martin Wheatley, Chief Executive, the FCA, at the ABI Biennial Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Keynote address: Financial crime in the FCA world
Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Investor relations in an increasingly regulated and international world
Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013. -
FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime
The Financial Conduct Authority (FCA) has fined Xcap Securities PLC (Xcap), a retail investment and capital markets business, £120,900 for failing to adequately protect client money and client assets. This is the first client asset case the FCA has